Client-focused reforms – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 03 Dec 2024 13:56:42 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Client-focused reforms – Investment Executive https://www.investmentexecutive.com 32 32 Robo advisor sanctioned over CFR shortcomings https://www.investmentexecutive.com/news/from-the-regulators/robo-advisor-sanctioned-over-cfr-shortcomings/ Tue, 03 Dec 2024 13:56:42 +0000 https://www.investmentexecutive.com/?p=497778 Compliance sweep in 2022 found WealthBar wasn't meeting new standards

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]]> Don’t go down with your client’s ship https://www.investmentexecutive.com/inside-track_/ellen-bessner/dont-go-down-with-your-clients-ship/ Mon, 30 Sep 2024 20:00:13 +0000 https://www.investmentexecutive.com/?p=493613 Use these three steps to deal with clients who insist on unsuitable investments

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]]> No note-taking requirements in CFRs? Think again! https://www.investmentexecutive.com/inside-track_/ellen-bessner/no-note-taking-requirements-in-cfrs-think-again/ Fri, 26 Jul 2024 20:00:10 +0000 https://www.investmentexecutive.com/?p=490028 The rules are in code. Here’s how to crack the code

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]]> OSC’s compliance work escalates https://www.investmentexecutive.com/news/from-the-regulators/oscs-compliance-work-escalates/ Fri, 26 Jul 2024 19:36:15 +0000 https://www.investmentexecutive.com/?p=490069 Risky firms, crypto platforms add to compliance division's workload

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]]> Advisor incorporation among CIRO’s priorities for 2025 https://www.investmentexecutive.com/news/from-the-regulators/advisor-incorporation-among-ciros-priorities-for-2025/ Wed, 26 Jun 2024 20:56:59 +0000 https://www.investmentexecutive.com/?p=488467 SRO integration and investor protection also on the agenda

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]]> OSC has conflicts of interest in its crosshairs https://www.investmentexecutive.com/newspaper_/news-newspaper/osc-has-conflicts-of-interest-in-its-crosshairs/ Mon, 13 May 2024 04:10:15 +0000 https://www.investmentexecutive.com/?p=485244 Newsmaker: CEO Grant Vingoe also wants to see binding decision-making authority for OBSI

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]]> OSC to increase focus on DIY investors https://www.investmentexecutive.com/news/from-the-regulators/osc-to-increase-focus-on-diy-investors/ Fri, 03 May 2024 21:04:50 +0000 https://www.investmentexecutive.com/?p=485207 The regulator also wants to toughen enforcement and see better advice given at banks

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]]> Do your notes pass the sniff test? https://www.investmentexecutive.com/inside-track_/ellen-bessner/do-your-notes-pass-the-sniff-test/ Mon, 08 Apr 2024 19:35:33 +0000 https://www.investmentexecutive.com/?p=483363 Here are three steps to prove suitability

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]]> Binding dispute resolution a bitter pill for industry to swallow https://www.investmentexecutive.com/newspaper_/news-newspaper/binding-dispute-resolution-a-bitter-pill-for-industry-to-swallow/ Mon, 11 Mar 2024 04:00:00 +0000 https://www.investmentexecutive.com/?p=481446 CSA’s proposal to empower OBSI elicits wave of criticism

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]]> Regulators update warning on advisor awards https://www.investmentexecutive.com/news/from-the-regulators/regulators-update-warning-on-advisor-awards/ Fri, 08 Dec 2023 22:52:10 +0000 https://www.investmentexecutive.com/?p=477063 Participating in recognition programs at all could be a compliance issue

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